12/2558 03/04/2015 01/06/2015 7. Notification of the Office of the Securities and Exchange Commission SorNor. 1/2554 Examination and Disclosure of List of Foreign ETF Units and Application for
disclosed to the public An examination on the provision of Zipup/ZipUp+ services, which offer returns in the form of bonus reward for users of Z Wallet on the digital asset exchange of Zipmex Thailand, showed
level of examination strictness increases according to the higher level of risk. In case of non-compliance with the above measures, the SET has the power to impose penalties. Moreover, in cases where
According to a referral from the Stock Exchange of Thailand (SET) and the SEC’s further examination, there was evidence that 13 persons, namely: (1) Mr. Suraphong Triamchanchai, (2) Nippon Pack
responsibility, due care and loyaltyFrom the examination of all relevant documents, it was found that the embezzlement of SECC?s assets was partly facilitated by the negligence of Kornwiwat (formerly Phaibul
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
institutions but participation of other legal entities and individuals will be allowed. Training, examination and registration related to providing of the service will be arranged. In this juncture, the SEC
performance of duty as financial advisor under this Notification; (3) “supervisor database” means the database prepared by the Office under the rules prescribed by this Notification to display the name list of
ขอเชิญเข้าร่วมโครงการทดสอบภาวะวิกฤติด้านเงินกองทุนของบริษัทหลักทรัพย์ ผู้ประกอบธุรกิจสัญญาซื้อขายล่วงหน้า และสำนักหักบัญชี ("Supervisory Stress Test")
product - อาจซ้่าซ้อนกับการท่า suitability test จึงขอด่าเนินการ knowledge assessment พร้อมกับ suitability test หากต้องการข้อมูลเชิงลึก - ควรบังคับให้ท่า knowledge assessment กรณีการเสนอขาย complex product